Susan B. Cooper
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan B Cooper, who also goes by Susan Bartholomew, Susan Bartholome Cooper, Susan Bartholomew Cooper, was a registered financial advisor .
Susan is a previously registered financial advisor and started their career in finance in 1981. Susan had worked at 13 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2004 - May 24, 2011
PINNACLE INVESTMENT ADVISERS
April 11, 2001 - September 3, 2002
USALLIANZ SECURITIES, INC.
October 20, 1999 - March 16, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 18, 1999 - September 30, 1999
MEDALLION INVESTMENT SERVICES, INC.
July 22, 1997 - November 4, 1998
SECURITIES SERVICE NETWORK, LLC
June 8, 1994 - July 16, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 2, 1991 - December 4, 1992
CUNA BROKERAGE SERVICES, INC.
August 17, 1990 - December 31, 1990
CENTURY INVESTORS OF AMERICA, INC.
February 26, 1988 - September 11, 1990
CETERA ADVISORS LLC
November 20, 1985 - December 31, 1987
CADARET, GRANT & CO., INC.
December 28, 1981 - March 31, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 22, 1981 - November 27, 1985
OSAIC FA, INC.
June 22, 1981 - December 17, 1985
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
